Filing Details
- Accession Number:
- 0000073124-16-000514
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-14 19:38:21
- Reporting Period:
- 2016-11-14
- Filing Date:
- 2016-11-14
- Accepted Time:
- 2016-11-14 19:38:21
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
73124 | Northern Trust Corp | NTRS | State Commercial Banks (6022) | 362723087 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1514798 | D. Jeffrey Cohodes | 50 South Lasalle Street Chicago IL 60603 | Evp/Chief Risk Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2016-11-14 | 6,000 | $71.23 | 59,963 | No | 4 | M | Direct | |
Common Stock | Disposition | 2016-11-14 | 6,000 | $80.91 | 53,963 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Employee Stock Option (right-to-buy) | Disposition | 2016-11-14 | 6,000 | $0.00 | 6,000 | $71.23 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2018-02-19 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 3,824 | Indirect | 401(k) as of 9-30-16 |
Footnotes
- Includes 24,295 shares representing stock units payable automatically on a 1-for-1 basis in shares of the Corporation's common stock.
- This transaction was effected pursuant to a trading plan adopted in accordance with SEC Rule 10b5-1.
- Price reflects the weighted average sales price from $80.62 to $81.20. Information regarding the number of shares sold at each separate price will be provided by the reporting person upon request.
- This option became exercisable in four equal annual installments beginning 2/19/2009.